Compliance & Risk Management Skills: Planning, Auditing, Investigating, and Reporting

3 Units

This course covers the basic concepts of regulatory compliance and risk management and how to: identify the compliance obligations of an enterprise; assess the legal risks associated with these obligations; build a compliance and ethics program that effectively mitigates these risks; roll out an effective program; develop appropriate audit procedures to analyze program effectiveness; correct and improve organizational operations by follow-up monitoring, process change, and education; and lead a response to a regulatory audit or investigation, all while generating value through compliance and ethics. Prereq: LAWS 4561 .